Support & Technology

Our approach to supporting your business and delivering technology is the same.
We adapt to your needs, not the other way around. That means our staff takes a very
personalized approach to supporting your operations and compliance needs and an open
architecture approach to supporting your technology demands.

Our Operations Team

We are proud of our top caliber operations team and our focus on delivering quality services to satisfy your clients and to help you succeed in your business. As your back office provider, our operations department prides itself on always providing courteous, prompt and efficient service.
Our advisors know that a problem resolution response time is measured in minutes and hours, not in days or weeks. And because we enjoy a very low turnover in our back office, your staff will quickly develop productive and long-term relationships with each member of our team. Our goal is to help your business become more efficient so you can devote more time and attention to what you do best, serving your clients and growing your practice.

Helpful Compliance

Do you want to meet a broker dealer that doesn't tell you why you can't do something and instead tells you how you can? Welcome to Mutual Securities where we
believe a compliance department is there to service and protect you, not make you feel alienated and scorned.
Our compliance team acts as a lifeguard, not policeman. We abhor compliance bureaucracies and needless red tape exercises. As entrepreneurs ourselves, we enjoy working with our representatives and advisors in genuine supportive relationships fostering compliant business practices geared toward your independence, your individuality, and most importantly, your bottom line.

Our Core Technologies

Wealthscape℠ is our online workstation and solution for advisors to clear business through National Financial.
You’ll have access to:

Trading resources, including instant access to equities, options and fixed income markets, and access to one of the largest mutual fund supermarkets in the industry

Real-time positions and transaction history

Realized and unrealized tax reporting and cost basis details

Online access to client statements, confirmations and tax documents

Scores of reports and exporting capabilities

Various research services, analytical tools and market data

Accessible through PC, laptop or a mobile device

Wealthscape Investor℠ is Fidelity’s online investor portal designed to enhance advisor interactions with clients, leading to stronger, more engaged relationships.
Clients can take advantage of:

Quick access to their account information

Robust market data and research tools, including charting and investment screeners

Trading resources, including instant trading access that allows investors to trade stocks, options, and mutual funds on the spot

Easy access to key documents, including account statements and confirmations

The option to go paperless with e-notifications for new documents that are ready for review

Convenient mobile capabilities across a range of devices

Nexus is the online back office and compliance portal that links the advisor to our home office. Through Nexus, we distribute important communications, deliver commission and fee reports, produce trade blotters, and maintain our library of forms and manuals.

Cabinet is our document management software used to store all client files, compliance records and other mandatory books and records to create a totally paperless solution for our advisors.

Open Architecture Technology Solutions

It wasn’t long ago that the number of technology choices for an independent advisor was pretty narrow. That is no longer the case.
Making prudent vendor decisions from the beginning is critical – but you’re not alone in making those decisions.
We’re here to offer you guidance and support to help you find the best technology solutions for your specific business practice, including :

Quotations & Market Data

Investment Research

Website Design & Hosting

Social Media Marketing

Portfolio Management Systems

Office Hardware & Cloud Consulting

Data Storage, Security & Backup

Financial Planning Solutions

CRM Systems

Form Filling Solutions

Transition Support

One of the most challenging tasks you face when changing broker dealers is the process of transitioning your book of business.
If any firm tells you differently, you should be skeptical. Mutual Securities believes, however, that we understand and manage this process better than our competitors.
Our experienced transition team is constantly transitioning advisors to our platform and refining the process.
The key to our transition successes are that we first listen and then we develop a customized transition process that will work best for you while at the same
time properly managing expectations for you and your clients.

HYBRID MODEL

Mutual Securities has been offering hybrid services to dual registrants
for over 35 years. We offer a variety of tailored-made solutions that
adapt to the needs of RIA practices and their clients.